Our Staff has compiled our research into a database of FINRA Broker Disclosures for J.V.B. Financial Group, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Douglas Russell Gillespie | 4258847 | 5 | 03/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Russell Gillespie | 4258847 | 5 | 03/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon Muyang Sun | 5389291 | 1 | 03/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Russell Gillespie | 4258847 | 5 | 09/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Russell Gillespie | 4258847 | 5 | 08/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Russell Gillespie | 4258847 | 5 | 11/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Christopher Whalen | 1507594 | 1 | 02/28/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brendan Jeremiah Shanahan | 2270153 | 2 | 09/09/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brendan Jeremiah Shanahan | 2270153 | 2 | 04/18/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Walter Johnson | 826553 | 1 | 05/28/1992 | Customer Dispute | Settled | $56,465.00 | $0.00 | See FINRA Report |